financial services law and compliance in australia

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Financial Services Law And Compliance In Australia

Author : Gail Pearson
ISBN : 1139475894
Genre : Law
File Size : 64. 19 MB
Format : PDF, Kindle
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Up until the global credit crisis in 2008, 'Financial Services' was the fastest growing sector of the Australian economy. This growth has had profound implications for individuals, corporations and government. Following extensive review in the last part of the twentieth century, Australia put in place an overarching system for regulating all financial services, replacing a system that was based on separate regulation of products in individual industries. Focusing on the implications of the new system for retail clients - 'financial citizens' - Financial Services Law and Compliance in Australia provides a comprehensive account of the regulatory structure and a detailed analysis of the legislative framework, including discussion of the new regulatory bodies, the new licensing requirements for those wishing to enter the financial services market and the new obligations for those marketing or offering financial services to the public. This is an essential resource for those working in, and advising on, financial services, for students of financial services law, and for anyone needing to understand this new regime in Australia.

Contemporary Australian Corporate Law

Author : Stephen Bottomley
ISBN : 9781108340120
Genre : Law
File Size : 89. 90 MB
Format : PDF
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Contemporary Australian Corporate Law provides an authoritative, contextual and critical analysis of Australian corporate and financial markets law, designed to engage today's LL.B. and JD students. Written by leading corporate law scholars, the text provides a number of features including: a well-structured presentation of topics for Australian corporate law courses, consistent application of theory with discussion of corporate law principles (both theoretical and historical), comprehensive discussion of case law with modern examples, and integration of corporate law and corporate governance, all with clarity, insight and technical excellence. Central concepts are enhanced with dynamic and relevant discussions of corporate law in context, including debates relating to the role of corporations in society, the global convergence of corporate law as well as corporations and human rights. Exploring the social, political and economic forces which shape modern corporations law, Contemporary Australian Corporate Law encourages a forward-thinking approach to understanding key concepts within the field.

Implementing Financial Regulation

Author : Joanna Gray
ISBN : 9780470869307
Genre : Business & Economics
File Size : 69. 7 MB
Format : PDF, Mobi
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Now that the Financial Services and Markets Act 2000 has had a chance to bed itself down and the Financial Services Authority (FSA) is developing its new regulatory toolkit and modus operandi, financial regulation has moved on in interesting directions. This book takes a critical look at the principles and practices behind this regulation, as well as the theory that is involved. This book goes further than a description of the laws that are currently out there, by analysing the impact and implications of the new financial regulations, making it a ’must-read’ for law, finance and accounting practitioners. Coverage includes: Regulation and compliance; disclosure risk and regulation and stakeholders in financial regulation.

Australia

Author : International Monetary Fund
ISBN : 9781452780184
Genre : Business & Economics
File Size : 76. 78 MB
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This assessment of the current state of Australia’s implementation of the Basel Core Principles for Effective Banking Supervision has been completed as part of a Financial Sector Assessment Program (FSAP) undertaken in December 2005 by the International Monetary Fund. The assessment team reviewed the legal framework for banking supervision. The team had the benefit of working with a comprehensive self-assessment completed by the Australian authorities, enjoyed excellent cooperation with its counterparts, and received all the information it required. The financial system is relatively large and diversified.

Australian Master Financial Planning Guide 2010 11

Author :
ISBN : 9781921593857
Genre : Estate planning
File Size : 44. 9 MB
Format : PDF
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Covers all the fundamental areas of financial planning with practical examples and case studies.

Theory And Practice Of Modern Islamic Finance

Author : Abu Umar Faruq Ahmad
ISBN : 9781599425177
Genre : Business & Economics
File Size : 60. 58 MB
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Theory and Practice of Modern Islamic Finance seeks to contribute to the existing body of work in the area of Islamic finance through examining the extent of divergence in practice of Islamic financing from the traditional Shari'ah in the Australian context. The author makes a discursive analysis of the regulation of Islamic finance in Australia in terms of (a) the financing instruments used, (b) certainty of transactions between participants in the system, and (c) institutional risk management of Islamic financial institutions. The work's objectives are two-fold: (a) to analytically study the extent to which Islamic Financial Services Providers (IFSPs) of Australia differ from the traditional Shari'ah in their current practices of Islamic legal financial system by their use of different financial products and techniques, and (b) to create awareness and transparency about the various products and instruments used by IFSPs of Australia. REVIEWS "It is indeed a most comprehensive, methodologically sound, well organised, lucid, comprehensively documented and analysed, and convincingly argued and concluded research. It systemically addressed all the research questions raised and very convincingly and successfully resolved them to logical conclusions. The study can convincingly claim to have made a breakthrough in the frontier of knowledge in the field of Islamic finance" Professor R. I. Molla, Multimedia University, Malaysia "Discussions of the topics throughout the book are logically coherent and presented in plain language. It is an insightful, well researched, logically organised and lucidly presented research work having overwhelming strengths and very limited weaknesses. I have no hesitation to say that this book may provide useful guidelines for dealing with the emerging issue of Islamic finance around the world.." Dr. S. M. Solaiman, The University of Wollongong, Australia "I have gone through for the most part of author s present work and found that it was excellent. I must congratulate him for preparing a research work of such standard. It was due to his extreme commitment, sense of professionalism, and perseverance." Professor A. B. Rafique Ahmad, Pro-VC, International Islamic University Chittagong, Bangladesh "I read this book on Islamic finance with lots of interest. It is one of the finest pieces of writing, in terms of content, eyes to detail, referencing and scholarly analysis. It is often a challenge to simplify such a complex subject without loosing the necessary details. There are very few Islamic books that introduce all jurisdictions. This book filled in this gap through making an unbiased objective reading. The book have covered very valid governance issues such as the conflict of interest of the regulators (Shari'ah Board), the products resembling conventional loans and the reluctance of sharing the full risk. While Islamic Institutions may shy away from the author, his talent will be highly sought in academia and research circles." Dr. Shahadat Chowdhury, School of Civil and Environmental Engineering, University of New South Wales, Sydney, Australia This book appears to be the only major research monograph on Islamic finance in Australia. The historical, rational and critical methodology of this book follows the scientific research methodology of the great twentieth century philosopher of science Karl Popper. The clarity and logical rigour resulting from this approach is one of the major strengths of this work. Chapters 1-3 and 5 are of excellent quality and reflect Dr Ahmad's authoritative knowledge in the field of Islamic law. Chapters 6-11 reflect not only Dr Ahmad's expertise in Islamic financial law, evident in previous chapters but also his extensive practical experience in his advisory and consultancy work. The book raises many questions for future research, including, how to resolve the perceived divergence of financial practice from Islamic law and the development of a fully satisfa

Consumer Protection In Financial Services

Author : Peter Cartwright
ISBN : 9789041197177
Genre : Law
File Size : 46. 1 MB
Format : PDF, ePub, Docs
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The question of how financial services should be regulated in the interests of consumers has never been more topical. The structure of the financial services industry is changing rapidly and the need for the law to keep pace with these changes has never been greater. This book examines the role of the law in the protection of the consumer, in particular the ways in which the law is, and could be, used to protect consumers when purchasing financial services. A prominent panel of contributors first examines the role of the European Union and the ombudsmen schemes operating in the United Kingdom in improving consumer protection. Eight expert papers present a detailed analysis of aspects of the various legal mechanisms protecting consumers in the banking, financial services, investments and insurance industries. The final part of the book is concerned with the important and controversial area of consumer credit. This unique work is a welcome contribution to a rapidly developing area of law, which has so far received little attention from commentators. It will be of great interest to those at the cutting edge of banking, financial services and consumer law, whether practicing lawyers or in-house counsel, and all those involved in advising consumers.

Compliance And Regulation In The International Financial Services Industry

Author : Patrick Callioni
ISBN : 1906403023
Genre : Business & Economics
File Size : 87. 16 MB
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This book provides detailed guidance for those responsible for designing and applying compliance regimes in companies.

The Law Of Insider Trading In Australia

Author : Gregory Lyon
ISBN : 1862875634
Genre : Law
File Size : 77. 89 MB
Format : PDF, ePub, Mobi
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This book provides a detailed and practical analysis of Australian Insider Trading Laws. Written jointly by Gregory Lyon of the Melbourne Bar and Professor du Plessis of Deakin University, the work: Examines all fundamental concepts relating to insider trading such as ‘who is an insider’, ‘what is inside information’ and ‘when is information generally available’, together with commentaries on proposed changes to the laws and an examination of the impact of the most recent decisions, including Hannes, and Rivkin; Provides a very detailed examination of the defences and exceptions, with particular attention to the operation of Chinese Walls; Analyses fully and systematically the provisions on insider trading in the Corporations Act and the Criminal Code (Cth) within the context of decided cases and relevant secondary materials; Covers comprehensively the penalties and remedies for contravention of the insider trading regime. This includes the intricate civil compensation provisions, and an up-to-date analysis of the civil penalties regime in light of ASIC v Petsas; Discusses the operation and effectiveness of continuous disclosure as a means of preventing insider trading.

Australian Business Law

Author : Vickery
ISBN : 144252782X
Genre :
File Size : 66. 93 MB
Format : PDF
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The new edition of AUSTRALIAN BUSINESS LAW: COMPLIANCE AND PRACTICE builds on the strengths of previous editions - providing a practical, self-paced text ideal for the classroom or student self-study. Key principles of Commercial, Contract, Consumer, Finance, Property and Workplace Law are explained clearly and concisely for students. AUSTRALIAN BUSINESS LAW: COMPLIANCE AND PRACTICE, 6E has been written for the relevant legal competencies within Financial Services, Real Estate, Marketing, Hospitality and Legal Studies courses. Using clear and concise language, this fully revised and updated edition enables students to understand complex aspects of business law and shows how this theory complies with real life. The 6th edition will be packaged with a 2010 Update which includes all recent legislative and case updates relevant to business law.

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